| Release No. |
Date |
Details |
| 34-76766 |
Dec. 24, 2015 |
Order Granting Temporary, Limited, and Conditional Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
|
|
34-76514 |
Nov. 24, 2015 |
Bloomberg STP LLC; SS&C Technologies, Inc.; Order of the Commission Approving Applications for an Exemption from Registration as a Clearing Agency
File No.: 600-33, 600-34 |
| 34-76495 |
Nov. 20, 2015 |
Order Granting an Extension to Limited Exemption from Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program Until December 1, 2016
File No.: SR-BX-2014-048
|
| 34-76494 |
Nov. 20, 2015 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to FlexShares® Trust and FlexShares® Real Assets Allocation Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 16-3
See also: Incoming Letter
|
| 34-76480 |
Nov. 19, 2015 |
Order Granting A Conditional Exemption Under the Securities Exchange Act of 1934 from the Confirmation Requirements of Exchange Act Rule 10b-10(A) for Certain Transactions in Money Market Funds
File No.: S7-08-14
|
| 34-76397 |
Nov. 9, 2015 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to FlexShares Trust, FlexShares® Currency Hedged Morningstar DM ex-US Factor Tilt Index Fund, and FlexShares® Currency Hedged Morningstar EM Factor Tilt Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 16-1
See also: Incoming Letter
|
| 34-76382 |
Nov. 6, 2015 |
Order Granting Exemption from Compliance with the National Market System Plan to Implement a Tick Size Pilot Program
|
| 34-76322 |
Oct. 30, 2015 |
Order Exempting Certain Large Traders from the Self-Identification Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934, and Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Responsibilities Under the Rule
File No.: 4-657
|
| 34-76193 |
Oct. 19, 2015 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to DBX ETF Trust and Deutsche X-trackers CSI 300 China A-Shares Hedged Equity ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 15-13
See also: Incoming Letter
|
| 34-76183 |
Oct. 16, 2015 |
Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations from Requirements of Rule 17g-5(a)(3) Under the Securities Exchange Act of 1934 and Request For Comment
File No.: S7-04-09
Comments received
are available.
|
| 34-76129 |
Oct. 13, 2015 |
Order Granting Temporary, Limited, and Conditional Exemption of Kroll Bond Rating Agency, Inc. from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
|
| 34-76117 |
Oct. 8, 2015 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Tactical Sector Rotation Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 15-19
See also: Incoming Letter
|
| 34-76021 |
Sep. 29, 2015 |
Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Program Until March 31, 2016
File No.: SR-NYSEARCA-2013-107
See also: Incoming Letter
|
| 34-76020 |
Sep. 29, 2015 |
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until March 31, 2016
File No.: SR-NYSE-2011-55 and SR-NYSEAmex-2011-84
See also: Incoming Letter
|
| 34-75919 |
Sep. 15, 2015 |
Order Pursuant to Sections 15F(b)(6) and 36 of the Securities Exchange Act of 1934 Extending Certain Temporary Exemptions and a Temporary and Limited Exception Related to Security-Based Swaps |
| 34-75803 |
Sep. 1, 2015 |
Order Granting Greenbacker Renewable Energy Company LLC a Limited Exemption from Rule
102(a) of Regulation M pursuant to Rule 102(e)
File No.: TP 15-14
See also: Incoming Letter |
|
34-75747 |
Aug. 20, 2015 |
Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
|
|
34-74609 |
Mar. 30, 2015 |
Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange’s Retail Liquidity Program Until September 30, 2015
File No.: SR-NYSEArca-2013-107
See also: Incoming Letter
|
|
34-74507 |
Mar. 13, 2015 |
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges’ Retail Liquidity Programs Until September 30, 2015
See also: Incoming Letter
|
|
34-74348 |
Feb. 20, 2015 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to AccuShares S&P GSCI Spot Fund, AccuShares S&P GSCI Agriculture and Livestock Spot Fund, AccuShares S&P GSCI Industrial Metals Spot Fund, AccuShares S&P GSCI Crude Oil Spot Fund, AccuShares S&P GSCI Brent Oil Spot Fund, AccuShares S&P GSCI Natural Gas Spot Fund, and AccuShares Spot CBOE VIX Fund, Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
See also: Incoming Letter
|
